Advisor Transition Specialist, Sr

HilltopSecurities is looking to hire a Senior Advisor Transition Specialist. The Senior Advisor Transitions Specialist is responsible for new advisor onboarding, training coordination and overall transition planning and follow-up to ensure successful financial professional transitions within the Momentum Independent Network (MIN) and Private Client Group (PCG). The position will process a variety of complex non-routine transactions and handle escalated issues or problems referred by Specialist.

Responsibilities

• Lead and manage new advisor transition, including due diligence calls to ensure we can support the Advisor’s practice, discuss transition process – Protocol and Non-Protocol
• Work closely with Advisory Services Group (ASG) and Insurance team to coordinate due diligence calls and general transition planning and provide detailed instructions on Transition processes and policies
• Assist in managing Salesforce recruiting database by ensuring up-to date data entries, data accuracy and running reports as needed
• Serve as a liaison between operations and the wealth management recruiting teams
• Lead onboarding team through the onboarding weekend and managing the post-transition follow up (typically 60 – 90 days)
• Create and update transition checklists and transition timeline
• Work with DocuSign to enhance the electronic signature process for transitions
• Responsible for remediation with the representative/office for post-transition NIGO paperwork to ensure a successful transition of financial professionals
• Coordinate, Track and Monitor new advisor training for all HTS systems
• Create Monthly Management Reports for Transitions in progress and upcoming transitions (track assets received, accounts opened, ACAT status, etc)
• Regularly provide transition status updates to management
• Review process workflows and identify gaps/procedural changes to enhance process efficiencies
• Provide additional Support for Wealth Management Department projects as needed
  
  
  

Qualifications

• High school diploma or equivalent. Degree preferred.
• Three (3) or more years related experience in the financial services. Preferred experience in Operations, Account Servicing or Advisor transition
• Licensure: Series 99 or 7 a plus or willingness to obtain
• Demonstrated understanding of transition procedures, including Broker Protocol and non-Protocol, and disseminate that information in a clear and precise manner to potential advisors as well as the internal transition team a plus
• Ability to work overtime and weekend work will be required as needed
• Ability to work in a fast-paced environment while maintaining accurate, complete, and high-quality work in a timely manner
• Strong relationship building and communication skills, both oral and written
• Ability to effectively handle difficult customer service situations
• Ability to prepare and maintain confidential records and reports
• Ability to work successfully with other departments and individuals at all
• levels
• Self-motivated team player and individual contributor
• Strong PC skills including knowledge of MS Office Products, specifically Word and Excel
  
  
  

The above statements are intended to describe the general nature and level of work being performed by individuals in, or assigned to, the above position and are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required, and may be changed at the discretion of the Company.

About Us

At HilltopSecurities, we believe in building noble and collaborative relationships that enrich the financial future of individuals, businesses and communities. With an extensive portfolio of products, we deliver a broad range of investment banking and related financial services that help our clients achieve their definition of success. As a subsidiary of HilltopHoldings, which also encompasses PlainsCapital Bank, and PrimeLending, we have the financial strength and stability that has withstood the test of time. Our nationwide presence in 400 locations across 44 states provides our associates with extensive opportunities to grow their careers in a diverse organization that truly values relationship capital above all else.

About The Team

HilltopSecurities’ Wealth Management department values its relationship-based approach to serving clients. Through our Private Client Group, we provide highly customized sound financial planning across a range of investment objectives and products. Our Wealth Management professionals deliver a full suite of services for investors such as helping to build wealth, analyzing financial status and goals, advising on investment strategies, developing new business opportunities, and welcoming new clients. You will also be able to learn and deliver behavioral financial concepts to clients, forge relationships with community and business leaders, and learn from experienced financial professionals about how to fully support the individuals you serve. Our Clearing department supports more than 130 broker-dealers and Registered Investment Advisors who provide institutional and financial services through industry experts. We aim to mitigate risk, realize competitive returns, and meet investing objectives. As one of the nation’s largest licensed broker-dealer clearing firms, we are focused on building long-term client relationships based on trust and personal service. As a part of our Wealth Management team, you will also be encouraged to take advantage of our professional development opportunities. This includes FINRA series exam sponsorship, tuition reimbursement, working with a mentor, and support from employees of all levels. Wealth Management at HilltopSecurities will give you the fulfilling experience of building meaningful relationships that allow you to fully serve clients in their best interest.